Managing regulatory exposure one rule at a time
DFP Partners provides full-service compliance consulting to broker-dealers seeking FINRA membership application services, ongoing regulatory compliance consulting and support, as well as CRD Registration Services.
We can support your business in many areas. A qualified FINRA Series 24 registered DFP Partners consultant can serve as your firm’s designated Chief Compliance Officer (CCO). Additionally, our consulting team offers a suite of compliance services on a retainer or project basis to support your in-house CCO.
FINRA New Membership Application (NMA) requirements are extensive and exact, and DFP Partners will pilot the entire process.
Successfully navigating FINRA’s application process requires deep understanding of the client’s business, formulating appropriate responses to FINRA information requests, and full membership interview preparedness. Our consultants are skilled in this meticulous process, having represented firms of varied size and structure.
We provide ongoing regulatory support via on-site visits, off-site accessibility, and informed guidance.